job opening

Chief Compliance Officer (CCO)

Type: Permanent – Full Time
Location: Kirkland, QC

• • Would you be interested in becoming the CCO at a ferociously client-focused Montreal-based wealth management firm?
  • Would you relish the opportunity to be in a management and leadership role and part of a harmonious, team-oriented culture, where we encourage and support personal and professional growth?
  • Are you interested in helping shape the future of a respected wealth management firm?

Founded in 1995, Tulett, Matthews & Associates is an independent, Montreal-based firm that empowers Canadian professionals, executives, entrepreneurs, and retirees through our integrated wealth management solutions. Our tailored services include portfolio management, financial planning, tax planning, and additional care as warranted.  

At the heart of our success is our client focus, exemplified through objective advice, integrated planning, and evidence-based strategies – all delivered with a personal touch.

More than just a place to learn from the best, we are committed to providing you with exceptional mentorship, training, and development opportunities. We’re located in the West Island of Montreal, in a professional, bright workspace offering a positive atmosphere, ample parking, and convenient accessibility to public transport and amenities.

Chief Compliance Officer (CCO) Role

1. Firmwide Compliance Oversight
   • Ensure all operations comply with legal and regulatory standards.
   • Oversee the implementation of compliance policies and procedures
2. Firmwide Compliance Training
   • Develop and deliver compliance training programs for staff.
   • Ensure ongoing education about regulatory changes and compliance best practices.
3. Ongoing Regulatory Compliance
   • Manage relationships with regulatory bodies (e.g., AMF, OSC).
   • Handle all necessary filings, attestations, and reports as mandated by NI 31-103.
   • Coordinate with external auditors for compliance checks and implement any required changes.

• Be an existing CCO or have the ability and background to immediately qualify
• Completion of the PDO Exam or CCO Qualifying Exam with relevant experience.
• At least 5 years of experience in the securities industry, with 36 months in a compliance role
• Strong understanding of financial regulations and ability to coordinate work with internal and external financial, legal and regulatory participants.
• Excellent communication and interpersonal skills.
• Bilingual proficiency in English and French.
• Comfort with technology and adaptability to new systems.

Primarily office-based with the option for 1-2 days of remote work per week.